Job Title:  Control Office

Nomura Overview:

Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Nomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura’s global operations and are an integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura’s global business.

Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career’s responsibilities, sexual orientation, gender identity, race, color, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people.

Division Overview:

Nomura International Wealth Management (IWM) have more than 50 years of experience delivering value to our high net worth clients in Asia.  Our commitment to deliver bespoke solutions is paired with judicious planning, coupled with Asia insight to meet clients’ wealth planning and investment goal objectives.

Nomura IWM have access to both global and regional investment opportunities across multiple asset classes - fixed income and equity securities, including currencies, interest rates and credit in cash, derivatives and structured products.  IWM will take advantage of Nomura’s research-based advice, strong execution capabilities and bespoke solutions that leverage our global expertise in Global Markets, Investment Banking, Asset Management and other affiliates.

This particular role is within the IWM Control Office (IWM CO) team. The IWM CO team is responsible for creating and maintaining the Front Office Supervision framework for the division, and being the key operational risk and control function for the IWM business.

Position Specifications:

Role & Responsibilities:

• We are seeking a dynamic individual to join the IWM Control Office (IWM CO) team, based in Powai.

• The individual will work closely and in partnership with the regional IWM CO team and the local GM CO team.

• Perform control monitoring activities over IWM staff to ensure adherence to internal policies and regulatory requirements. Topics include Investment Suitability, Cross Border, Staff Licensing, Outgoing External Email Correspondence Review, Portfolio Call Report Review, Best Execution, etc.

• Perform reporting activities for FOS Attestation, KRIs, Scorecard, Management Packs, and Supervisory meeting packs.

• Support the IWM Hierarchy Maintenance process

• Participate in User Acceptance Testing of IWM tools and systems.

• Assist with information requests from regulators and auditors, as needed.

• Participate in ad hoc projects

Key Skills: